Roger A. Raulin
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Roger Albert Raulin was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1981. Roger had worked at 5 firms and has passed the Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 22, 1993 - March 23, 2015
RAULIN INC.
April 10, 1992 - September 30, 1998
GROVE POINT INVESTMENTS, LLC
May 23, 1990 - March 7, 1991
WALNUT STREET SECURITIES, INC.
January 2, 1988 - June 9, 1988
MML INVESTORS SERVICES, LLC
September 28, 1981 - January 2, 1988
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 12/23/1974
Registered Representative ExaminationCurrent Firm
RAULIN INC.
CRD#: 111755 / SEC#: 801-42372
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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